This extension covers part of the SEC amendments for Regulation SHO to place further restrictions on short selling. See also EP120. Since the SEC amendment provides exemptions to the rule (broker/dealers may submit “short exempt” orders under certain conditions), it is necessary to enhance FIX messages during the trade lifecycle. In particular, a FIX order...
This extension covers part of the SEC amendments for Regulation SHO to place further restrictions on short selling. See also EP121. The rules create a “Circuit Breaker” which changes the trading behavior for a security. FIX is utilized in pre-trade dissemination of securities reference data and market data; it follows that FIX needs a method...
This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above.
SEC – FIX Response to Disclosure of Order Handling Information
FIX Trading Community’s response to the SEC’s File No. 4-698 – Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail
Swap Data Reporting
SEC – FIX Response to Regulation SCI
Please see FIX’s reponse to the Consolidated Audit Trail proposal which was submitted on August 5th, 2010
FIX filed a response to the SEC Concept Release entitled Securities Transactions Settlement. This is the first time that FIX has responded to an SEC Concept Release.